Broker-Dealers Articles

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Borzi: 401(k) Brokerage Windows May Need Regulation

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An assistant DOL secretary says regulations or guidance may be needed to protect participants in 401(k) plans that allow investing in virtually all a brokerage has to offer.

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LPL Adds Financial Advocacy Network To Its Platform

by FA Staff

The Financial Advocacy Network supports four independent advisory practices with a total of approximately $450 million in client assets.

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Welch And Kleintop Leaving LPL

by FA Staff

Financial Advisor magazine has learned that Fortigent's Scott Welch will be the latest high-profile executive leaving an LPL Financial's investment unit.

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Edward Jones Sponsors University Program To Train Future Brokers

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Edward Jones, the 92-year-old St. Louis brokerage, is looking to head off a projected shortfall of financial advisors by sponsoring training classes at U.S. universities.

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Prudential Auditor Who Romanced Actress Stefanie Powers Dies At 72

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Thomas Carroll, who announced his retirement in June as chief auditor at Prudential Financial and had a brush with celebrity through his 14-year relationship with actress Stefanie Powers, has died.

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Accounting Oversight Board Says Broker-Dealer Audit Lapses Widespread

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The Public Company Accounting Oversight Board says lapses in B-D audits continue to be widespread four years after it was given the responsibility of reviewing the reports by the Dodd-Frank Act.

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SEC To Allow Dually Registered Firms To Continue Stock-Sale Practice

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Dually registered investment advisory and broker-dealer firms will be able to continue selling stock from their own accounts to some clients, the SEC said.

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Benjamin W. Wong Joins Commonwealth

by FA Staff

Benjamin W. Wong and Associates of Pleasanton, Calif., manages $700 million in client assets.

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Cetera Financial Group To Add Girard Securities

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RCS Capital, owner of Cetera Financial Group, said today that it has agreed to purchase San Diego-based independent broker-dealer Girard Securities.

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Cetera Launches Wealth Management Event

by FA Staff

Cetera Financial Group launched its fifth annual Wealth Management University event in Las Vegas this morning with almost 200 advisors attending.

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